Search for: "Working Group on Securities Disclosure Authority"
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8 May 2020, 12:02 pm
Charles Dorraine Disclosures Charles Dorraine has been in the securities industry since 1972. [read post]
29 Apr 2021, 11:13 am
” NWC also states that FERC “should request that Congress authorize it to offer financial rewards to whistleblowers as a percentage of the monetary sanctions the whistleblowers help to secure. [read post]
12 Apr 2019, 5:09 am
Corporate & Securities Law Institute held at Northwestern University's Pritzker School of Law discussed the SEC’s recently issued Compliance and Disclosure Interpretations on board diversity and the key differences between proposed federal board diversity legislation and the approach taken by California. [read post]
15 Apr 2014, 11:02 am
Securities and Exchange Commission, No. 13-5252 (D.C. [read post]
21 Oct 2020, 5:01 am
(Disclosure: From July 2017 to March 2019, I worked at the Department of the Interior as speechwriter to the secretary. [read post]
10 Oct 2014, 3:14 pm
[This story previously appeared in Securities Regulation Daily.]By Jacquelyn LumbSEC Chair Mary Jo White provided the Investor Advisory Committee with an update on its actions since the group last met, which included money market fund reforms, amendments to the registered asset-backed security disclosure regime, and finalization of over a dozen Dodd-Frank Act mandates related to conflict of interest and governance of credit rating agencies. [read post]
25 Jul 2017, 1:31 pm
The federal securities laws provide disclosure requirements and other important protections of which investors should be aware. [read post]
10 Apr 2023, 11:49 am
The White Law Group is investigating potential securities claims involving Arete Wealth Management. [read post]
17 May 2012, 2:54 pm
Substantial doubt may not be working for investors. [read post]
15 Aug 2021, 9:05 pm
The OCR has investigated national pharmacy chains, major medical centers, group health plans, hospital chains, and small provider offices. [read post]
4 May 2022, 8:47 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
13 Jan 2021, 9:25 am
The Financial Industry Regulatory Authority’s findings stated that Michael Tavel purportedly participated in private securities transactions away from his member firm without providing a written disclosure to the firm and he allegedly falsely attested to the firm that he had not solicited any unapproved private placements. [read post]
23 Oct 2019, 1:27 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
22 Feb 2023, 1:07 pm
It is also highly relevant to mediation and settlement conferences, as well as to discovery into legal analysis and work product related to various assertion, defenses, and damages doctrines. [read post]
21 Aug 2013, 7:50 am
The legal framework should protect the authorities and their current and former employees and agents against criminal and civil actions for breach of confidentiality based on the disclosure of information if the disclosure was made in accordance with the legal gateways, including any applicable conditions or safeguards.Where legal gateways are conditional on reciprocity, meaning that disclosure of information is only permitted if the jurisdiction of the recipient… [read post]
13 Feb 2020, 6:51 am
By Lene Powell, J.D.The European Securities and Markets Authority (ESMA), the EU’s securities markets regulator, has published a new strategy describing how ESMA will place sustainability at the core of its activities by embedding Environmental, Social, and Governance (ESG) factors in its work. [read post]
23 Feb 2009, 12:02 pm
" O'Brien says the public disclosure of D. [read post]
23 Sep 2021, 4:54 am
Security Along with privacy comes security. [read post]
11 Dec 2014, 1:35 am
Securities and Exchange Commission rules that carry out procedures required by the 2010 Dodd-Frank financial reform law to protect whistleblowers and curb retaliation against them by employers, lawyers said.The law created a private cause of action for whistleblowers whose employers retaliate against them for lawfully providing information to the SEC, or making disclosures protected under the Sarbanes-Oxley governance law. [read post]
14 May 2018, 5:00 am
(Disclosure: I served on the Academies committee.) [read post]
